ACCEPTANCE REPORT FOR HNG-X ACCEPTANCE GATEWAY
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Document Title:
Document Reference:
Release:
Abstract:
Document Status:
Author & Dept:
External Distribution:
ACCEPTANCE REPORT FOR HNG-X ACCEPTANCE GATEWAY 3
REQ/GEN/ACS/0002
Release specific
This document comprises the Acceptance Report for HNG-X
Acceptance Gateway 3. It provides details of the Acceptance status
of all POL requirements associated with this Acceptance Gateway
and is for submission to the HNG-X Acceptance Board.
APPROVED
Dave Cooke
HNG-X Acceptance Manager
Neil Williams, Phil Norton, Mark Burley, David Smith,
Liz Tuddenham, lan Trundell
Security Risk NO
Assessment Confirmed
Approval Authorities:
Name Role Signature Date
Phil Norton POL Requirements and See Dimensions for record
Acceptance Manager
Dave Cooke FS HNG-X Acceptance See Dimensions for record
Manager
See HNG-X Reviewers/Approvers Matrix (PGM/DCM/ION/0001) for guidance on who should approve.
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0 Document Control
0.1 Table of Contents
0 DOCUMENT CONTROL.
0.1 Table of Contents.
0.2 Document History.
0.3 Review Details.
0.4 Associated Documents (Internal & External
0.5 Abbreviations.
0.6 Glossary.
0.7. Changes Expected.
0.8 Accuracy.
0.9 Security
isk Assessmen'
INTRODUCTION
1 Scope......
.2. Acceptance Board assessment checklist for AG3.
asa
2 REVIEW OF STATUS OF ACCEPTANCE CRITERIA.
2.1. Functional Requirements — Use Case:
2.2 Non-Functional Requirements and Criteria..
2.3 Delayed (Deferred) Test status......
2.3.1 Delayed Test Status - non-testable criteria.
2.3.2 Delayed Test Status — non-functional testable criteria.
2.4 Failed Status.
2.4.1 Use Case Fail:
2.4.2 Non-Testable Fails.
2.4.3 Testable Non-Functional Fail:
3 REVIEW OF STATUS OF ACCEPTANCE INCIDENTS
3.1. Acceptance Incident Aggregation...
3.2. Acceptance Incidents arising from Agreed Deferral:
3.2.1 Acceptance Incident details for type AI-AD.........
3.2.2 Aggregated Acceptance Incident details for type AI-AD.
3.3 Acceptance Incident arising from non-testable criteria.
3.3.1 Acceptance Incident details for type AI-NT......
3.3.2 I Aggregated Acceptance Incident details for type Al-NT.
3.4 Acceptance Incident arising from Testable crite!
3.4.1 Acceptance Incident details for type AI-TS.
3.5 Acceptance Incident total...
A APPLICABLE POL REQUIREMENTS AND ACCEPTANCE CRITERIA...........+ 42
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B DEFINITION OF ACCEPTANCE METHODS...
C DEFINITION OF ACCEPTANCE INCIDENT SEVERITY.
D ACCEPTANCE BOARD RECOMMENDATION OPTIONG.........sccsseseseeseneseeeeee 45
0.2 Document History
Version No. Date Summary of Changes and Reason for I: Associated Change
CP/PEAK/PPRR
Reference
ot 28-OCT-2009 I Initial version
02 02-NOV-2009 I Updated following joint FS / POL review
03 03-NOV-2008 I Updated following joint FS / POL review
o4 06-NOV-2009 I Updated the following sections: -
+ Section 3.3 to add additional defect 12489 (MIG-3017),
12505 (ARC-422)
* Section 3.4.2 to clarify the status of the Use Case failures
* Section 3.4 to add additional defects 12251 & 12270, and
revise the Al severities
+ General updates to the number and status of the ‘deferred
test’ requirements
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0s 04-Dec-2009 I Consolidation of changes agreed via interim reviews and working
drafts. Updates following Acceptance Criteria status changes
and to the following sections:-
+ Section 1.1 ~ statement added concerning non-acceptance
defects
+ Section 1.2 ~ revised layout
+ Section 2.2.1 — layout changes and inclusion of tables for
known ‘Delayed Test’ criteria
+ Section 2.2 - Update of table
+ Section 2.2.1 - Update of tables to include all criteria that
are known to require future testing
+ Section 2.3.1.2 general revisions to tables to update test
status, and to reflect movement of some criteria to section
224
+ Section 2.3.2.2- general revisions to tables to update test
status, and to reflect movement of some criteria to section
224
+ Section 2.3.5 — Addition of SEC-31 18 — now reinstated at
AG3
+ Section 2.3.6 - Updates to test status
+ Section 3 - General updates to reflect additional defects /
Acceptance Incidents and adjustments to totals
06 08-Dec-2009 I Updates following joint review. Changes to the following
sections: -
+ Section 1.2 update to figures
+ Section 2.2 ~ inclusion of ‘Delayed Test’ column and
adjustment of figures
+ Section 2.2.1 - Update of tables
+ Section 2.3 - removal of sections as necessary as
requirements are moved to ‘Delayed Test’ section of ‘Failed’
section.
07 09-Dec-2009 I Updates to reflect change of requirements and defect status.
Changes to the following sections: -
+ Section 1.2 update to figures
+ Section 2.2 ~ update to figures arising from MIG-3162 now
passed
+ Section 3 - update to figures arising from defects now
being passed
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1.0 10-Dec-2009
Updates arising from joint review. Changes to section:
Section 1.2 — update to layout and figures
Sections 2.1 & 2.2 —adjustment to column headings and
figures
Section 2.3.3.2 — update to status details
Section 2.4.3 — update to advise which defects will be
‘subject to discussion at RAB
Section 3 — Addition of new Als for defects 12797 and
12845
General — include defects numbers alongside Al references
4.4 17-Dec-2009
Updates arising from AG3 Acceptance Board. Changes to
sections: -
Section 1.2 - update to reference known defects / Als that
are pre-requisites to progression into Pilot
General - inclusion of Al severity against any Al references
Section 3 — include summary details of the medium Als
alongside relevant tables.
Section 2.3.3.2 - Move HLP-93 & HLP-131 to this section.
General - updates as required to reflect current QC status
12 22-Dec-2009
Updates to reflect latest QC status. Changes to sections: -
Section 1.2 — Note 1 - updated to reflect latest position
13 08-Jan-2010
Updates to reflect outcome of AG3 Board of 30/12/09 and latest
QC status. Changes to sections: -
Section 1.2 and note 1.
Section 2.2 — revision of figures
General - update to tables to reflect latest QC status
Appendix E — inclusion of new appendix to record summary
of Acceptance Incidents that are now closed.
Section 2.3.1 — removed as Use Cases now passed
Section 3 — Al updates:-
© AL-AD-151 (High) - card misread - closed
© Defect 12540 / Al-AD-148 (Medium) — date offset
— closed
© Defect 12845 / Al-TS-028 (Medium) - Help file
distribution - closed
© Status of defect 12795 / Al-TS-031 to be
reviewed
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14 20-Jan-2010 I Updates to reflect status changes and progress against
Acceptance Incidents. Changes to sections:~
+ Section 1.2 - Update to figures and notes
+ Section 3 - update to figures
© Al-TS.030 - Orange WWAN —now a
Medium Al as workaround in place
© ALTS-031 — Router syslog event messages
=nowa Low Al
© New Al-TS-032 (Low) introduced
concerning ‘hourglass’ visible in Help
Appendix E - Update to record closure of previous Als
© AL-TS.029 - Ref data distribution ~ now
closed
© AFAD-103 - Duplicate of Al-AD-071
20 23-Feb-2010 I Updated to baselined version following decision at AG3
Acceptance Board of 21/01/2010 - see minutes AG3-06 / item
AG3.60.
Notes in sections 1.2 removed
Acceptance decision included in section 1.3.
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0.3 Review Details
See HNG-X Reviewers/Approvers Matrix (PGM/DCM/ION/0001) for guidance on completing the lists below. You
may include additional reviewers if necessary, but you should generally not exclude any of the mandatory
reviewers shown in the matrix for the document type you are authoring.
Review Comments by
Review Comments to
Mandatory Review
Role
david.cooke@! GRO '& RMGADocumentManagement@ GRO I
Name
HNG-X Programme Manager
Alan D'Alvarez
POL HNG- Design Authority
HNG-X Solution Architect Jim Sweeting
POL HNG-X Programme Manager Mark Burley
POL HNG-X Requirements Manager Phil Norton
POL HNG-X Acceptance Manager Neil Williams
lan Trundell
HNG-X Testing Manager
Debbie Richardson
POL HNG-X Testing Manager
Lee Farman
Optional Review
Role Name
Head of Programmes — Private Sector Business Unit Mike Wood
Head of Change and IS Dave Smith
RMGA Commercial Director
Guy Wilkerson
POL HNG-X Senior Contracts and Service Manager Liz Tuddenham
Issued for Information — Please restrict this
distribution list to a minimum
Position/Role Name
(*) = Reviewers that returned comments
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0.4 Associated Documents (Internal & External)
Reference Version Date Title Source
PGM/DCM/TEM/0001 I 5.0 03 June 2009 RMGA HNG-X Generic Document Dimensions
(DO NOT REMOVE) Template
Schedule B6.3 - HNG-X Acceptance I Dimensions
Process
Unless a specific version is referred to above, reference should be made to the current approved
versions of the documents.
0.5 Abbreviations
Abbreviation Definition
0.6 Glossary
Term Definition
0.7 Changes Expected
Version numbers all embedded documents will be updated to align with final baseline version,
0.8 Accuracy
Fujitsu Services endeavours to ensure that the information contained in this document is correct but, whilst every
effort is made to ensure the accuracy of such information, it accepts no liability for any loss (however caused)
sustained as a result of any error or omission in the same.
0.9 Security Risk Assessment
Security risks have been assessed and it is considered that there are no security risks relating specifically to this
document.
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1 Introduction
This document comprises the HNG-X Acceptance Report to the HNG-X Acceptance Board for the
assessment of the progression through Acceptance Gateway 3 (AG3) — Readiness for Pilot.
The basis for HNG-X Acceptance is defined in Schedule B6.3 and some sections are reproduced within
this report.
The POL Requirements and Criteria, contained in the HNG-X Requirements Catalogue - POL DOORS.
archive v1.42, and associated with AG3 are contained in Appendix A.
The definition of the HNG-X Acceptance Methods is contained in Appendix B.
The definition of the Acceptance Incident Severity is contained in Appendix C.
1.1 Scope
The purpose of this Acceptance Board is: -
‘To agree the Acceptance status of the relevant Release (HNG-X Release 1 for AG3) and provide a
recommendation to the ‘Joint Release Authorisation Board'.’ The proposed options that this Board can
select from are described in Appendix D.
This recommendation is based on an assessment of the status of the applicable POL Requirements and
Acceptance Criteria and of the stage progression criteria for AG3 are described in Schedule B6.3.
The primary assessment concerns the status of any Acceptance Incidents as follows:-
Progression through HNG-X Acceptance Gateway 3 shall occur once all of the following have
been satisfied for the HNG-X Acceptance Criteria allocated to achieving progression through the
respective HNG-X Acceptance Gateway:
(a) subject to paragraph 4.6 (of Schedule B6.3 which refers to dispute handling, defect
aggregation and deferred tests), all such HNG-X Acceptance Criteria have been achieved;
(b) activities leading to HNG-X Acceptance Gateway 1 (named “Readiness for Router
Roll—Out (Z1)" and HNG-X Acceptance Gateway 2 (named “Readiness for Data Centre
Migration”) must be completed and these two HNG-X Acceptance Gateways passed through in
accordance with paragraph 4.5.4.2 as pre-requisites to achieve HNG-X Acceptance Gateway 3.
(b) there are no outstanding HNG-X High Severity Acceptance Incidents;
(c) the number of outstanding HNG-X Medium Severity Acceptance Incidents is five or
fewer and an agreed workaround exists for each of them; and
(d) there is an agreed workaround for all outstanding HNG-X Low Severity Acceptance
Incidents except for those which the Parties agree do not require a workaround.
(e) details of all Non Incidents are recorded, although they shall have no impact upon
Acceptance Gateway progression
These together with other supporting factors are summarised in the following checklists for AG3.
It should be noted that there are also defects that are not linked to POL Requirements and which are not
the subject of Acceptance Incidents. A separate assessment of the status and significance of these has
been undertaken and this will be available for consideration at the Release Authorisation Board.
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1.2 Acceptance Board assessment checklist for AG3
References in this table refer to the HNG-X Acceptance Schedule B6.3.
Programme Stages.
Schedule 6.3 paragraph 2.2.4 identifies the three key stages during which Test and Validation.
the HNG-X Acceptance Process takes place.
Acceptance Gateways.
Schedule 6.3 paragraph 4.3 identifies three key HNG-X Acceptance
Gateways controlling progression through the HNG-X Acceptance Process Acceptance Gateway 3.
Stages plus two additional Acceptance Gateways.
First of three key HNG-X Check
Acceptance Gateways. list.
Sequence.
The sequence of HNG-X Acceptance Process stages and the order of Passage through both AG 1 & v
precedence for Acceptance Gateways is defined in schedule 6.3 section 2.2 AG2
Assess I The HNG-X Acceptance Plan.
ment of I For all HNG-X Requirements, Fujitsu Services is responsible
the HNG-} for producing, within the timescale agreed between the Parties,
x evidence to demonstrate that the relevant HNG-X Acceptance
Require I Criterion has been met. With the exception of those
ments I 4.6.4 If, other than as a result of a Default of Fujitsu Services, it tests agreed to be Delayed
Catalog I is impossible for a test to be carried out when scheduled in the Tests, all tests have been v
ue; for I HNG-X Acceptance Plan then that test becomes known as a carried out when scheduled in
Achieve I "Delayed Test". The non-occurrence of a Delayed Test at the the HNG-X Acceptance Plan.
ment, time originally scheduled in the HNG-X Acceptance Plan will
Fulfilme I not prevent HNG-X Stage Progression, HNG-X Final
ntand I Acceptance or progression through HNG-X Acceptance
Complia I Gateways 1 or 2.
nce. Delayed Tests.
4.6.4 Delayed Tests will be carried out as soon as reasonably
practicable or at such later time as the Parties may agree
(which shall be no later than six months after HNG-X Final
Acceptance) provided that performance on that agreed date Reatrepent sites = 24
does not, other than as a result of a Default of Fujitsu Services, me Delayed Tests squale:
become impossible (in which event the Delayed Test shall be y' a ‘
carried out as soon as reasonably practicable).
Contract Schedule 6.3 will need revising (from v1.0) to change
the reference from Deferred Test to Delayed Test.
Achievement, Fulfilment & Compliance. .
Gateway progression shall occur when 4.5.4.2 (a) subject to a te exception Of these
ie" ‘equirements with Delayed
paragraph 4.6, all (such) HNG-X Acceptance Criteria have Tecio and those thal are ihe
Deshieciieved) subject of Acceptance v
Tests have identified a number of HNG-X Acceptance Incidents Incidents (noted below), all AG
and these are summarised below. Otherwise, (and with the 3 Acceptance Criteria have
exception of Delayed Tests), Test demonstrate that all other been achieved (4.5.1.1(a))
HNG-X Acceptance Criteria have been met. ~~ .
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All H I Each of I Results ina defect that would render a key Hi
N_I which. I element of one or more of the Business. gh
Def Capabilities and Support Facilities or a key Si Ne lowed 0
G-I WAS _ I element of the Infrastructure unfit for e; One aula
ect x gues operational use. ve (4.5.1.1 (c))+113.
the rit
Bol
introdu y
s Ce I ction I Results ina defect that would cause problems I M
Rec I pt ‘of _I inthe operational use of one or more Be
an Transaction types. fi : 2
ord ok panes Hs Five or fewer allowed and -
ed. In I arising Se
ci I from ve
de I Project rit I each has an aes workaround
nt I HNG-X y ae
and/or Rectification Plans are not
i the required yet.
re ;_I Results in a defect that does not cause any Lo
co Associ I averse operational.impact in the use of the w I Contract does not specify a limit
rd ated I Business Capabilities and Support Facilities or tl por bat 146
ed Chang I anelement of the Infrastructure, or can be Se on the number but -
e addressed ve
iviti_ I by 2 Fujitsu Services workaround without any I fit
ASS ACH 8 vata ope sal sel Jor PROT ETRE, each has an agreed workaround ¥
su I es that y
bs are (unless agreed otherwise) but -
et I subject Rectification Plans are not a
of I tothe required yet.
HNG-X I Was found:
all I Accept I Motte bea defect, not to have resulted from
D I ACCEPE I the introduction of HNG-X or not to fall within
ance I the high, medium or low categories.
ef I proces Ne
ec I sand in Need not be counted for
ts cid Acceptance but resolution will be 8
R pian managed in QC & Peak.
or
de
d).
Defects not caused by Fujitsu Services:
4.6.2 If, following investigation by Fujitsu Services, an HNG- Need not be counted for
X Acceptance Incident is found to have been caused solely Acceptance but POL may need 0
by a fault or deficiency in anything other than those elements P to resolve y
of HNG-X provided by Fujitsu Services, it shall not count °
(towards Gateway Progression).
Acceptance Disputes.
In accordance with Schedule 6.3 paragraph 4.6 the parties agree that: There are no unresolved v
Acceptance Disputes.
1.3 Acceptance Decision
The AG3 Acceptance Board (AG3-06) was held on 21/01/10 and approval to proceed through AG3 was.
granted. The decision stated that ‘...it was agreed that the high priority fixes in “Reset 4” — to be
delivered as part of Maintenance Release 01.08 — could constitute a High Severity Al if not delivered in
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time for High Volume Pilot (over 272 branches). As such, “Qualified Acceptance” at AG3 was agreed,
subject to the successful delivery of the high priority items in Reset 04.
Whilst not an exact match, this is the closet to the Acceptance Board Recommendation 3: ‘Proceed at
risk through Acceptance Gateway.’
These associated conditions were discussed at the corresponding Release Authorisation Board and
recorded in the minutes of that meeting.
2 Review of status of Acceptance Criteria
The POL requirements for Acceptance Gateway 3 comprise all of the functional requirements
represented by the POL Use Cases and a set of the Non-Functional requirements.
2.1 Functional Requirements — Use Cases
There are 143 Use Cases which constitute the POL functional requirements. Their summary status is as
follows: -
Count of Status : Status
Service Barrel Failed (Deferred Fix) Failed I Passed I Grand Total
Banking 8 10 18
Branch Accounting 1 17 18
Branch Admin 2 8 10
Branch Support & Control 17 17
Bureau de Change 7 7
ETU 3 1 4
lop 8 11 19
Postal Services 1 8 9
Retail & Stock Sales 1 1
Shared 1 5 13 19
Cash & Stock Management 3 18 21
Grand Total 28 5 110 143
Key to Status
Failed (Deferred Fix) — This indicates that a Use Case has one or more defects associated with it, but
that the resolution of these defects have been agreed to be deferred to beyond start of Pilot.
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Failed - This status indicates that a Use Case has one or more defects associated with it that has not yet
been resolved. See section 2.4.1. (Note that in this case these all relate to test reference data issues
and are classed as Non-Incidents).
Applicable defects are represented as Acceptance Incidents in section 3.
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2.2 Non-Functional Requirements and Criteria
There are 753 non functional Acceptance Criteria associated with Acceptance Gateway 3. Their
summary status is as follows: -
Count of Status Status
Verification Method I Delayed Failed I Failed Passed Grand Total
us (Deferred Fix)
Document Review 3 14 234 251
(21 with concession)
Design Walkthrough 139 139
(11 with concession)
Monitoring 2 2
Statement of Fact 42 42
(2 with concession)
Statement of 90 90
Obligation
(4 with concession)
Solution Test 15 16 6 129 166
(22 with concession)
Release Validation 1 3 2 57 63
Test
(6 with concession)
Grand Total 19 33 8 693 753
Key to Status
Deferred Test — This identifies the number of criteria that are subject to ‘deferred test’ status. See
section 2.3.
Failed (Deferred Fix) — Each Failed Criteria is shown in section 2.4. Applicable defects are represented
by an Acceptance Incident in section 3
Failed - This status indicates that a criterion has one or more defects associated with it that has not yet
been resolved. See section 2.4.3.1 (Note that in this case these defects have all been assessed as
having no POL Business Impact).
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2.3 Delayed (Deferred) Test status
The Schedule B6.3 acknowledges that there may be circumstances when previously scheduled testing
that was targeted for completion by this Acceptance Gateway cannot now take place. Providing that this
is not due to a contractual default by Fujitsu, and the parties agree, then the tests associated with a POL
requirement may be delayed — this is known in the contract as a ‘Deferred Test’. Fujitsu are still obliged
to carry out these ‘Deferred Tests’.
For this Acceptance Gateway, Either Fujitsu or Joint Test Team has requested that tests associated with
the following requirements are given this ‘Deferred Test’ status. Quality Centre does not record this
status and so the current QC status is shown for each criterion.
2.3.1
Delayed Test Status - non-testable criteria
The final testing of the following non-testable criteria has been agreed to be delayed.
Post Office from liability
for information security
threats to a_ similar
extent that Post Office
is protected by Baseline
Horizon unless
otherwise agreed with
Post Office Information
Security.
either been accepted
or, where not,
waivers have been
agreed by Post
Office Information
Security.
Original Original Object text Acceptance Criteria I Verification Status / Impact
Object Id Method
SEC-3138 I Risks identified in the I Evidence that all I DR The assessment of this
area of SQL injection I risks raised under criterion cannot conclude until
attacks (see SEC-3347) I Requirement I SEC-! the two criteria associated with
will be managed under I 3347 have been SEC-3347 have been
Change Control. addressed under the assessed.
Change Control
process. They are: -
SEC-3137 - see AI-NT-1001
(Medium)
&
SEC-3348 — Deferred Test
(QC status = No Run)
SEC-3061 I By provision of anI Review of I DR The assessment of _ this
appropriate architecture I documentation and criterion cannot conclude until
for HNG-X and I agreed waivers prior all other Security criteria have
associated service I to going live shows been assessed.
operation, Fujitsu I that all other security
Services shall protect I requirements have (QC status = No Run)
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SEC-3060
By provision of an
appropriate architecture
for HNG-X and
associated service
operation, Fujitsu
Services shall protect
Post Office from liability
for information security
threats to a_ similar
extent that Post Office
is protected by Baseline
Horizon unless
otherwise agreed with
Post Office Information
Security.
Review of I DR
documentation and
agreed waivers on
completion of ST
tests shows that all
other security
requirements have
either been accepted
or, where not,
waivers have been
agreed by Post
Office Information
Security.
The assessment of _ this
criterion cannot conclude until
all other Security criteria have
been assessed.
(QC status = No Run)
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2.3.2 Delayed Test Status — non-functional testable criteria
The final testing of the following testable criteria has been agreed to be delayed.
2.3.2.1 Criteria associated with the Security Penetration Testing
Original Original Object text Acceptance Criteria I Verification I Status / Impact
Object Id Method
SEC-3115 I Branch Terminals shall I Evidence that I ST Final status of this criterion is
be bootable only from I attempts to boot subject to the review and
their primary mass I from other than the assessment of the Portcullis
storage device on the I primary mass. report which is due in mid
terminal. storage device fail. January.
(QC Status = No Run)
SEC-3135 All new developments I Demonstration of I ST Final status of this criterion is
will protect databases I protection (either by subject to the review and
from SQL __ injection I simulation of attack assessment of the Portcullis
attacks mounted I or by other means) report which is due in mid
through data centre January.
Perimeter! controls such Interim _ Status has been
communicated to POL and
identified that there were no
major issues.
This is subject to Acceptance
incident Al-AD-129 (Low) /
defect 4567.
(QC Status = No Run)
SEC-3193 Any mobile backup or I As per the I ST Final status of this criterion is
secondary network I Requirement subject to the review and
produced within the assessment of the Portcullis
{CISP 8.5.1k} report which is due in mid
specification of the January.
requirement shall be
secured to the same
level as the primary
network.
(QC Status = No Run)
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be undertaken for
retained functionality in
the area of SQL
injection attacks under
HNG-X.
protection (either by
simulation of attack
or by other means)
SEC-3161 I All HNG-X systems shall I Evidence of no I ST Final status of this criterion is
use private IP I reported incidence of subject to the review and
addresses (see I IP_ addresses being assessment of the Portcullis
RFC1918) which shall I exposed in this way report which is due in mid
not be exposed across I during the testing January.
the system boundary. phase. Interim status has been
communicated to POL and
identified that there were no
major issues.
(QC Status = Not Complete)
SEC-3177 All RADIUS servers that I As per the I ST Final status of this criterion is
authenticate network I Requirement subject to the review and
access shall be secured assessment of the Portcullis
and segregated into report which is due in mid
logical network January.
seamenis ey, and be Interim status has been
sei communicated to POL and
externally visible to . "
authorised domain users identified that there were no
major issues.
only.
(QC Status = No Run)
SEC-3348 I A risk assessment will I Demonstration of I ST Final status of this criterion is
subject to the review and
assessment of the Portcullis
report which is due in mid
January.
Interim status has been
communicated to POL and
identified that there were no
major issues.
(QC Status = No Run)
SEC-3144 I The
HNG-X — system
shall not retrieve data
from any external web
service unless additional
security features are
agreed with Post Office
Information Security.
For the avoidance of
doubt, no — security
change is required to
the connection to the
DVLA web service.
Demonstration of I ST
protection (either by
simulation of attack
or by other means).
Tests are only
required if HNG-X
supports browsing of
external web servers.
Final status of this criterion is
subject to the review and
assessment of the Portcullis
report which is due in mid
January.
(QC Status = Not Complete)
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SEC-3309 I All Sensitive Authentication I Tests show that all I ST Final status of this criterion is
Data (see Definitions) and I specified data is subject to the review and
Sensitive Cardholder Data shall -
be encrypted using approved I Protected by assessment of the Portcullis
algorithms and encryption I encryption or other report which is due in mid
protocols whilst in transit over I method that makes it January.
any public network unless
specifically agreed in writing by
the client
impractical to deduce (QC Status = Not Complete)
Approved algorithms are 128-bit
3DES (as per ANSI X9.52) and
256-bit AES (FIPS 197),
Approved encryption protocols
are SSL v3 / TLS, SSH, IPSec,
and PPTP.
[DN:
Any in-house
designed protocols will need to
be documented, justified and
reviewed for security by an
external specialist agreed with
PCI
Point-to-point optical
fibre connections are not
considered public networks. All
inter-site connections (including
those from outlets) are
assumed to be via a licensed
public telecommunications
provider and should therefore
be treated as public.
The X.25
authorisation connection to
Streamline is currently the only
client connection on which
encryption is not mandatory]
SEC-3113 Fujitsu Services shall I Evidence that all I ST Final status of this criterion is
provide a_ list of] measures achieve subject to the review and
measures that will be I the requirement assessment of the Portcullis
taken to mitigate the risk report which is due in mid
of unauthorised devices January.
being connected to any
component of the HNG-
X system, with the
exception of passive
devices within the
Branch. A_ "passive (QC Status = No Run)
device" is one which
takes no active part in
the communications or
processing e.g. a LAN
sniffer.
Interim status has been
communicated to POL and
identified that there were no
major issues.
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SEC-3212 It shall not be possible I As per the I ST Final status of this criterion is
to install any application I Requirement subject to the review and
or operating system assessment of the Portcullis
extension except under report which is due in mid
the control of properly January.
aoe ed systems Interim status has been
fairs + communicated to POL and
administrators carrying .
out authorised and identified that there were no
audited changes. major Issues.
(QC Status = No Run)
SEC-3210 HNG-X shall have I As per the I ST Final status of this criterion is
controls in place to I Requirement subject to the review and
prevent user bypass of
the standard application.
assessment of the Portcullis
report which is due in mid
January.
(QC Status = Failed)
This is subject to Acceptance
Incident Al-TS-008 (Low) /
Defect 11934
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2.3.2.2
Other testable criteria
The Joint Test Team has advised that testing of the following criteria will not complete before the AG3.
Acceptance Board. Accordingly they are to be given ‘Deferred Test’ status.
Original Original Object text Acceptance Criteria I Verification I Status / Impact
Object Id Method
ARC-463 Fujitsu Services shall I Tests to demonstrate I ST There are two tests that have
demonstrate that I network connectivity not been run that relate to
network connections for I for portable office PHU and will be run on LST.
portable office I configurations are
configurations shall be I defined and This is expected to complete
automatically selected I contained within a by 29/01/10.
from those ; physically I detailed test plan, It should be noted that the
available without the I the successful PHU Pilot is scheduled to take
intervention of the sub-I completion of which -
postmaster. shall determine the Start on 25/01/10 with the
acceptance of this migration starting on 08/02/10.
requirement. To
clarify ‘successful _
completion’, success (QC Status = No Run)
criteria will be
identified in advance
of test execution
ARC-468 Provision of the backup I Tests to demonstrate I ST 37 Branch Router tests have
network shall not
increase the end to end
timescales for branch
installations (i.e. it
should not be on the
critical path) unless
agreed otherwise with
PO Ltd. The in branch
installation time may be
higher.
network connectivity
for portable office
configurations are
defined and
contained within a
detailed test plan,
the successful
completion of which
shall determine the
acceptance of this
requirement. To
clarify ‘successful
completion’, success
criteria will be
identified in advance
of test execution
passed with 17 blocked and 12
failed due to lack of Vodafone
network or defects 12774 and
12795.
See section 1.2 — note 2.
(QC status = Failed)
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MIG-3071 Both Horizon counters I As per the I ST There are 155 tests that have
and HNG-x counters I Requirement passed, 1 SV&I test to be re-
shall be capable of run.
receiving and applying
all forms of reference This criterion is linked to
data driven changes defect 12732 which has been
(including both OBC and assessed by POL as having no
ADC) during the Business Impact.
migration period.
(QC status = Failed)
MIG-3075 I It shall be possible to I RV confirms that I RV 2 SV&lI tests are failed.
introduce software and I HNG-x counters are
reference data changes I capable of receiving There are no defects linked to
into the HNG estate I and applying — all this criterion.
using standard HNG I forms of reference a
processes while the I data and software (QC status = Falled)
Migration period is in I driven change during
progress the migration period
TR471 To support external I As per the I ST There is one test that has not
training activities I requirement been run that relates to PHU
including migration, the
solution shall be capable
of running on a_ pre-
defined portable
platform.
and will be run on LST.
This is expected to complete
by 29/01/10.
It should be noted that the
PHU Pilot is scheduled to take
start on 25/01/10 with the
migration starting on 08/02/10.
(QC Status = No Run)
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2.4 Failed Status
This status identifies those Use Cases or non-functional criteria where one or more applicable defects
have been identified. Details of each of these requirements are shown below. Applicable defects
associated with these failed Requirements are shown as Acceptance Incidents and contained in
section 3.
2.4.1. Use Case Fails
Section 2.1 identifies that some Use Cases have failed. Successful testing has already taken place on
these Use Cases, however there are two remaining defects that are causing some remaining tests to be
shown as ‘failed’.
The two defects are: -
e Defects 10723 & 10738 both relate to test reference data for Network Banking and relate to the
completion of tests of reference data combinations that do not exist in live. The affected Use
Cases are: -
°
°
°
°
°
GLB-2221 — Settlement by Debit Credit Card
GLB-438 — Receive Reconciled Transaction Data
GLB-494 — Receive Payment File
GLB-578 — Obtain MID / TID Details
GLB-2299 — Obtain Card Transaction or Reversal Authorisation
For Acceptance purposes these two defects are classed as ‘Non-Incidents’ and do not
contribute to progression through AG3.
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2.4.2. Non-Testable Fails
Section 2.2 identifies that a number of non-testable POL requirements have failed — details are shown
below.
Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
ARC-422 I Fujitsu Services shall The Solution Baseline I DR Some documentation
make available to POL I documentation shall not yet baselined.
an accurate and be provided to POL in
technically complete set I accordance with the This is an Acceptance
of documentation timetable stated in Incident - AI-NT-015
describing the Solution B6.2 and shall (Low) / defect 12505.
Baseline Documentation I comprise the
Set, excluding legacy documents or other
components where artifacts that are
existing Horizon agreed between Post
documentation may be Office and Fujitsu
retained. Services according to
Schedule B6.2.
MIG- Physical security of any I Evidence of joint DR This defect comprises
3017 infrastructure agreement to the one of a set relating to
components, including
Branch base units,
which contain any
business or security
sensitive information,
shall not be
compromised by
processes developed
and implemented for the
migration from Baseline
Horizon to HNG-X
migration processes
affecting the security
of physical
infrastructure and the
risks to business or
security sensitive
information.
the completion and
establishment of the
Security Risk
Management process
and the validation of
the associated
controls. This is due
for resolution by end
January 2010 and is
being progressed via
the regular joint
security forum.
This is an Acceptance
Incident - Al-NT-014 /
(Low — aggregated
into Al-NT-1002
(Medium)) defect
12489.
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SEC- The security measures System Risk DR This defect comprises
3082 appropriate for HNG-X, I Assessment (and one of a set relating to
including those Management) plan the completion and
appropriate during the establishment of the
migration from Baseline Security Risk
Horizon, shall be Management process
determined by Fujitsu and the validation of
Services by means of a the associated
HNG-X System Risk controls. This is due
Assessment which for resolution by end
covers the HNG-X January 2010 and is
Service Domain. Itis being progressed via
recognised this may the regular joint
increase costs if the security forum.
scope of the contract is
extended.
This is an Acceptance
Incident - Al-NT-006
(Low — aggregated
into Al-NT-1002
(Medium)) / defect
2312
&
AI-NT-008 (Low —
aggregated into Al-NT-
14002 (Medium)) /
defect 11295.
SEC- Based on the System Evidence of joint DR This defect comprises
3086 and Business Risk working resulting in an one of a set relating to
Assessments, Post agreed Risk the completion and
Office and Fujitsu Management Plan establishment of the
Services shall work covering both Security Risk
together to agree Business and System Management process
appropriate Risks. and the validation of
countermeasures the associated
commensurate with the controls. This is due
value and nature of the for resolution by end
business risk. It is January 2010 and is
recognised this may being progressed via
increase costs if the the regular joint
scope of the contract is security forum.
extended.
This is an Acceptance
Incident - Al-NT-007
(Low — aggregated
into Al-NT-1002
(Medium)) / defect
3503.
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SEC- Fujitsu Services shall Evidence of the DR This defect comprises
3110 provide a list of Requirement in Risk one of a set relating to
measures that will be Management Plans the completion and
taken to mitigate the risk I with measures of establishment of the
of unauthorised devices I perceived risk. Security Risk
being connected to any Management process
component of the HNG- and the validation of
X system, with the the associated
exception of passive controls. This is due
devices within the for resolution by end
Branch. A "passive January 2010 and is
device" is one which being progressed via
takes no active part in the regular joint
the communications or security forum.
processing e.g. a LAN
sniffer.
This is an Acceptance
Incident - Al-NT-001
(Low — aggregated
into Al-NT-1002
(Medium)) / defect
2309.
SEC- Fujitsu Services shall List of measures and DR This defect comprises
3111 provide a list of the effect of mitigation one of a set relating to
measures that will be the completion and
taken to mitigate the risk establishment of the
of unauthorised devices Security Risk
being connected to any Management process
component of the HNG- and the validation of
X system, with the the associated
exception of passive controls. This is due
devices within the for resolution by end
Branch. A "passive January 2010 and is
device" is one which being progressed via
takes no active part in the regular joint
the communications or security forum.
processing e.g. a LAN
sniffer.
This is an Acceptance
Incident - Al-NT-009
(Low — aggregated
into Al-NT-1002
(Medium)) / defect
11299.
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SEC- {CISP 8.5.1g} Data over I Evidence of the DR This defect requests
3167 Wide Area Networks Requirement in the clarification on which
shall be encrypted Design. network security
unless specifically protocols apply to
agreed in the relevant each of the relevant
Technical Interface WAN connections.
Specification or where The existing details in
otherwise specifically the Technical Network
agreed by Post Office Architecture will be
Limited Information updated to provide
Security. The Fibre these details.
Optic link between Data a
Centres is not This is an Acceptance
: Incident - Al-NT-004
considered to be a Wide
‘Area Network. The (Low) / defect 7307.
requirement applies to
transaction data
between branches and
the data centre(s).
SEC- Logon to Counter Review of Report DR The Comsec report
3201 Terminals must provide I prepared by an identified a number of
equivalent security to independent security defects that are being
that provided by logon expert (appointed by progressed and
via native operating FS) confirms that the reviewed via the joint
systems. design of this critical security forum.
security mechanism is
sound. The PEAKs are
PC0188679,
PC0188681,
PC0188684,
PC0188685,
PC0188686.
This is an Acceptance
Incident — Al-NT-003
(Low) / defect 12315.
SEC- The secure filestore in Evidence of the DR This defect identifies
3118 configured Horizon requirement in the that the process for
terminals shall be design managing secure
rendered unrecoverable filestore deletion will
on migration to HNG-X. be introduced during
Any terminal which is Pilot
not migrated (e.g. it is
taken out of service
instead) shall have its This is subject to
filestore deleted in Acceptance Incident
accordance with current AI-NT-005 (Low) /
procedures defect 12414
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SEC- A risk assessment will Risk Assessment DR This defect comprises
3137 be undertaken for one of a set relating to
retained functionality in the completion and
the area of SQL establishment of the
injection attacks under Security Risk
HNG-X. Management process
and the validation of
the associated
controls. This is due
for resolution by end
January 2010 and is
being progressed via
the regular joint
security forum.
This is subject to
Acceptance Incident
AI-NT-012 (Low —
aggregated into Al-NT-
1002 (Medium)) /
defect 12386
SEC- The security measures Evidence to support DR This defect comprises
3083 appropriate for HNG-X, I the determination of one of a set relating to
including those what security the completion and
appropriate during the measures are establishment of the
migration from Baseline I considered as being Security Risk
Horizon, shall be appropriate for HNG-X Management process
determined by Fujitsu and the validation of
Services by means of a the associated
HNG-X System Risk controls. This is due
Assessment which for resolution by end
covers the HNG-X January 2010 and is
Service Domain. Itis being progressed via
recognised this may the regular joint
increase costs if the security forum.
scope of the contract is
extended.
This is subject to
Acceptance Incident
AI-NT-011 (Low —
aggregated into Al-NT-
1002 (Medium)) /
defect 12384
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SEC- Fujitsu Services shall Periodic evidence that I DR This defect comprises
3314 establish, operate and FS are (via an agreed one of a set relating to
maintain an Information I forum) reviewing with the completion and
Security Management POL the progress and establishment of the
System compliant with status of the Security Risk
1$027001 that covers milestones that relate Management process
all aspects of HNG-X to the implementation and the validation of
under their control. of the 1S027001 the associated
programme in FS. controls. This is due
for resolution by end
January 2010 and is
being progressed via
the regular joint
security forum.
This is subject to
Acceptance Incident
AI-NT-013 (Low —
aggregated into Al-NT-
1002 (Medium)) /
defect 12387
MIG- Fujitsu shall agree with Evidence of joint DR This defect comprises
3015 Post Office Ltd any agreement to the one of a set relating to
security provisions migration processes the completion and
employed during the affecting data storage establishment of the
migration process for and data transmission Security Risk
interim data storage paths. Management process
areas and/or data and the validation of
transmission paths the associated
across the Horizon controls. This is due
Network. Details of how for resolution by end
this Security January 2010 and is
requirement will be met, being progressed via
shall be jointly agreed the regular joint
and shall be included in security forum.
the Migration Plan.
This is subject to
Acceptance Incident
AI-NT-010 (Low —
aggregated into Al-NT-
1002 (Medium)) /
defect 12382
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SEC- Cases requiring Approval of the DR This defect identifies
3172 encrypted data to pass authorisations process that the authorisation
through any HNG-X process will become
firewall layer shall only part of the overall
be authorised by Post BAU joint security
Office where a risk forum / ISMF, once
assessment has the Risk management
identified that the processes are
requirement for established.
confidentiality outweighs
the requirement for
system availability and This is subject to
integrity Acceptance Incident
AI-NT-016 (Low) /
defect 12873
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2.4.3
e 19 are subject to Acceptance Incidents and are shown in the table below.
Testable Non-Functional Fails
Section 2.2 identifies that 27 testable POL requirements have failed. These break down as follows:-
« 8have failed but where the associated defect has been assessed by POL as not having any
business impact. These are contained section 2.4.3.1.
Original I Original Object text Acceptance Criteria Verification I Status
Object Method
Id
HLP-110 I The Search Facility I Evidence that the search I ST Subject to
within Help shall allow I facility allows users to Acceptance Incident
the use of key words, I type in search criteria and AI-AD-102 (Low) /
sentences, wildcard I returns the correct details defect 11747.
and match all
characters
MIG- For any services thatI Tests to demonstrate I RV Subject to
2994 support serving I disaster recovery are Acceptance
customers in Post I defined and contained Incidents Al-AD-005
Office branches: full I within a detailed test plan, (Low), Al-TS-001
resilience, failover I the successful completion (Low), Al-TS-003
capability and a means I of which shall determine (Low).
of providing Disaster I the acceptance of this
Recovery (for example I requirement. To clarify 41 tests have
by reversion to anI ‘successful completion’, passed, 15 are no
altemative Data I success criteria will be Run and 2 have
Centre) shall be I identified in advance of failed.
supported Monday to I test execution
Friday 08.00 to 18.00 This criterion is also
and Saturday 08.00 to linked to many other
14.00. Outside these defects all of which
times, resilience and have been assessed
immediate DR may be by POL as having
removed (during no Business Impact.
migration) providing it
can be restored as
documented in
Migration Strategy
POs- The Postal ServicesI No evidence to the I ST Subject to
NFR-213 I shall prevent the I contrary when Acceptance Incident
selection and the use I undertaking ST of the AI-AD-104 / defect
of data and related I Postal Services 11403.
components, outside of I functionality.
their respective This criterion is
effective dates.
linked to defects
6668, 9379 — both
have been assessed
by POL as having
no Business Impact.
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POS- The Postal Services I Each display name for I ST Subject to
NFR-253 I system shall display I service matches the Acceptance Incident
each service name as I appropriate entry in the AI-AD-104 (Low) /
it is provided by PO: I Postal Services Data defect 11403.
This will be the full I model.
(Selectica) service This criterion is
name, except where linked to defects
PO has provided an 6668, 9379 — both
alternative name to be have been assessed
used in preference. by POL as having
no Business Impact.
POS- The Postal Services I As per the requirement. ST Subject to
NFR-259 I system shall support Acceptance Incident
the use of country Al-AD-104 (Low) /
synonyms (e.g. defect 11403.
Holland, The
Netherlands): as This criterion is
identified in an agreed linked to defects
listing of all such 6668, 9379 — both
synonyms. have been assessed
by POL as having
no Business Impact.
POS- Upon application of the I As per the requirement. ST Subject to
NFR-285 I relevant reference Acceptance Incident
data, all postage Al-AD-104 (Low) /
methods applicable to defect 11403.
a service shall be
evident to the Branch This criterion is
User. linked to defects
6668, 9379 — both
have been assessed
by POL as having
no Business Impact.
POS- The Postal Services I As per the requirement. ST Subject to
NFR-292 I system shall display a Acceptance Incident
minimum "To Pay" Al-AD-104 (Low) /
value for each Postage defect 11403.
Method; the value of
which will be set in the
Postal Services Data
model.
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POS- The Postal Services I As per the requirement. ST Subject to
NFR-293 I system shall provide a Acceptance Incident
default Postage AI-AD-104 (Low) /
Method for individual defect 11403.
services; the value of
which will be set in the This criterion is
Postal Services Data linked to defects
model. 6668, 9379 — both
have been assessed
by POL as having
no Business Impact.
POS- Where the Postal I As per the requirement. ST Subject to
NFR-295 I Services System Acceptance Incident
records or uses Al-AD-104 (Low) /
barcodes, discrete defect 11403.
barcode ranges will be
used and the system This criterion is
shall reject all codes linked to defects
that fall outside these 6668, 9379 — both
defined ranges. This have been assessed
shall include but shall by POL as having
not be limited to the no Business Impact.
rejection of number
sequences
SEC- All passwords I Evidence of no reported I ST Subject to Al-TS-
3141 transmitted across any I incidence of passwords 018 (Low) / defect
internal or external I being compromised in 12827,
network shall be I this way during the testing Al-TS-013 (Low) /
encoded such that it is I phase. defect 12821,
infeasible for an Al-TS-012 (Low) /
interceptor to deduce defect 12820.
the password.
This criterion is also
linked to defects
1746, 1749 — both
have been assessed
by POL as having
no Business Impact.
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SEC- {CISP 8.5.1b} I Demonstration of I RV This is subject to
3154 Unauthorised logical I protection (either by Acceptance
access from non-HNG-! simulation of attempts of Incidents: -
x systems and I unauthorised access or Al-TS-019 (Low) /
networks shall beI by other means). The defect 12828
prevented. This shall I exact timing and Al-TS-020 (Low) /
include but shall not be I environment for the tests defect 12830
limited to, unauthorised I shall be agreed in the test Al-TS-021 (Low) /
access from any of the I plan but shall in any case defect 12832
following: Any public I be prior to live. AI-TS-022 (Low) /
networks used. defect 12833
Networks connecting to Al-TS-027 (Low) /
Third Parties. Networks defect 12875
connecting HNG-X to
PO Ltd and/or Royal
Mail Group. Other
systems operated by
the domain supplier on
behalf of itself or other
clients.
SEC- {CISP 8.5.1c} Controls I Demonstration of I RV This is subject to
3158 shall protect against I protection (either by Acceptance
denial-of-service simulation of attack or by Incidents: -
attacks originating I other means) AI-TS-018 (Low) /
from non-HNG-X defect 12827
systems including Al-TS-023 (Low) /
those listed in defect 12835
Requirement SEC- Al-TS-024 (Low) /
3152 defect 12836
SEC- {CISP 8.5.1e} Network I Demonstration of alert I ST Subject to
3164 management staff I signal (either by Acceptance Incident
within each domain I simulation of attack or by Al-AD-136 (Low) /
shall be alerted to any I other means) defect 11932
attempt to reach the
HNG-X systems in
their domain from
unauthorised network
addresses.
SEC- Logon to Counter I Tests show logon is as I ST Subject to
3202 Terminals must I per design reviewed in Acceptance Incident
provide equivalent I SEC-3201 but with any AI-NT-003 (Low) /
security to that I recommendations defect 12315
provided by logon via I resulting from the review
native operating I applied.
systems.
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SEC- The Horizon Access I As per the Requirement ST Subject to
3204 Control Policy Acceptance
RS/POL/003 shall Incidents: -
apply but shall be AI-TS-006 (Low) /
updated to reflect the defect 12251,
change in policy due to Al-TS-007 (Low) /
HNG-X or other agreed defect 12270,
security requirements. Al-AD-1009 (Low) /
Such update _ shall defects 4567, 4776,
include at least the 4636, 4945.
following password Al-TS-011 (Low) /
requirements: defect 12819.
Minimum password
length of 7Minimum This criterion is
password history linked to other
length of 4. defects, all of which
have been assessed
by POL as having
no Business Impact.
This criterion is
linked to defects
12190, 12306 —
both have been
assessed by POL as
having no Business
Impact.
SEC- Applications requiring I As per the Requirement ST Subject to
3230 passwords shall Acceptance Incident
continue to comply
with the conditions
stated in the updated
Horizon (HNG-X)
Access Control Policy
ccD (ref.
RS/POL/003). See also
Requirement SEC-
3312.
Al-TS-009 (Low) /
defect 11935.
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SEC- The logical security I Tests to demonstrate the I ST This is subject to
3257 perimeter of the HNG-I security perimeter are Acceptance
X system shall be I defined and contained Incidents: -
defined and agreed I within a detailed test plan, Al-TS-010 (Low) /
with Post Office I the successful completion defect 12818
Information Security. of which shall determine Al-TS-011 (Low) /
the acceptance of this defect 12819
requirement. To clarify Al-TS-012 (Low) /
‘successful completion’, defect 12820
success criteria will be AI-TS-013 (Low) /
identified in advance of defect 12821
test execution. Al-TS-014 (Low) /
defect 12822
AI-TS-015 (Low) /
defect 12823
Al-TS-016 (Low) /
defect 12824
Al-TS-017 (Low) /
defect 12826
SEC- All cryptographic key I Tests to demonstrate I ST Subject to
3354 lengths shall be atI compliance are defined Acceptance Incident
least 128 bits for
symmetric keys and at
least 1024 bits for
asymmetric keys
where the associated
cryptographic control
protects the integrity or
confidentiality of HNG-
X Business _ Data,
Reference Data or
Application Software
unless otherwise
agreed with Post Office
Information Security.
Note: Post Office is
highly unlikely to agree
to any shorter keys
lengths (even for
COTS products). For
the avoidance of
doubt, access to the
TES Query service is
not covered by this
requirement but by
requirement SEC-
3310.
and contained within a
detailed test plan, the
successful completion of
which shall determine the
acceptance of this
requirement. To clarify
‘successful completion’,
success criteria will be
identified in advance of
test execution.
AI-TS-006 (Low) /
defect 12251.
This criterion is
linked to other
defects including
12306, all of which
have been assessed
by POL as having
no Business Impact.
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SER-
2207
The System Monitoring
facilities shall be able
to generate Alerts.
Where the Alerts are
deemed to be
incidents, the Incident
Management System
will be cognisant of the
nature (e.g.. VIP.
status) of the affected
branch and will linked to defect
escalate/act 11845, 11962 -—
accordingly as these have been
described in POA assessed by POL as
Customer Service having no Business
Incident Management Impact.
Process Details
(CS/PRD/074).
These transactions will be
tested in both stages of
testing using an agreed
approach to extrapolate
up from the — testing
environments to
production.
ST
Subject to
Acceptance incident
Al-TS-004 (Low) /
defect 12139.
308 tests have
passed. 1 SV&l test
has failed.
This criterion is also
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2.4.3.1 Failed POL Requirements / not subject to Acceptance incidents
Details of these failed testable requirements that are not subject to an Al are listed below and contained
in the embedded spreadsheet below.
MIG-2983, SER-2140, SER-2199, SER-2205, SEC-3101, ARC-464, ARC-476.
MIG-3045 — Remaining tests will not be run.
3)
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3. Review of status of Acceptance Incidents
The Acceptance Incidents listed below have been raised because the acceptance evidence has failed to
meet the acceptance criteria. They have been classified into three groups: -
« Those arising from defects whose resolution has been agreed to be deferred until after
the start of Pilot. These have an identifier of Al-AD-nnn
« Those arising from defects that have been raised during the assessment of the non-
testable criteria - in this case Document Review. These have an identifier of Al-NT-nnn.
« Those arising from defects that have been raised during testing and where no formal
deferral discussions have taken place. These have an identifier of Al-TS-nnn.
3.1 Acceptance Incident Aggregation
Schedule B6.3 (4.6.3) recognises that HNG-X Acceptance Incidents that are agreed to result from the
same failure or deficiency, or to affect the same operational process or business function, may be
aggregated into a single HNG-X Acceptance Incident for the purposes of the thresholds identified in
section 1.2. The following sections contain details of all of the individual Acceptance Incidents and then
identifies where aggregation has occurred.
3.2 Acceptance Incidents arising from Agreed Deferrals
The Als of this type and their severity are: -
Acceptance Individual Als
Incident Severity
Low 148
Medium ie)
High 0
Total 148
(Note: Al-AD-103 removed as this is a duplicate of Al-AD-071).
Of these, 44 of the Low Severity Als have been aggregated into 12 Low Severity Als giving a net figure
as follows: -
Acceptance Net Individual Als I Aggregated Als Net Total
Incident Severity
Low 104 12 116
Medium i) 0 0
High ie) 0 0
Total 104 12
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3.2.1 Acceptance Incident details for type Al-AD
Details of these Acceptance Incidents are contained in the embedded WORD document here.
fe!
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3.2.2 Aggregated Acceptance Incident details for type Al-AD
Details of these Aggregated Acceptance Incidents are contained in the embedded WORD document
here.
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3.3 Acceptance Incident arising from non-testable criteria
The Als of this type and their severity are: -
Acceptance Individual Als
Incident Severity
Low 15
Medium (e)
High 0
Total 15
Of these, 10 of the Low Severity Als have been aggregated into 1 Medium Severity Al giving a net figure
as follows: -
Acceptance Net Individual Als I Aggregated Als Net Total
Incident Severity
Low 5 0 5
Medium ie) 1 1
High 0 0 0
Total 5 1
Medium Al = Al-NT-1001 - This Al comprises those defects that relate to the completion and
establishment of the Security Risk Management process and the validation of the associated controls.
Defects are - 2309, 2312, 3503, 11295, 11299, 12384, 12489, 12386, 12387, 12382.
3.3.1 Acceptance Incident details for type Al-NT
Details of these Acceptance Incidents are contained in the embedded WORD document here.
a)
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3.3.2 Aggregated Acceptance Incident details for type AI-NT
Details of these Aggregated Acceptance Incidents are contained in the embedded WORD document
here.
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3.4 Acceptance Incident arising from Testable criteria
The Als of this type and their severity are: -
Acceptance Individual Als
Incident Severity
Low 25
Medium 1
High 0
Total 26
Medium Al = defect 12774 / Al-TS-030 — Maximum packet size over Orange WWAN
3.4.1 Acceptance Incident details for type AI-TS
Details of these Acceptance Incidents are contained in the embedded WORD document here.
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3.5 Acceptance Incident total
The overall status of all Acceptance Incidents is as follows: -
Severity AI-AD - Agreed AI-NT - Non AI-TS - Test Total
Deferred Testable
Low 116 5 25 146
Medium (e) 1 1 2
High i¢} i¢} i?) i?)
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A Applicable POL Requirements and Acceptance
Criteria
The POL Requirements and Criteria, contained in the HNG-X Requirements Catalogue - POL DOORS.
archive v1.42, and associated with AG3 are contained in the embedded spreadsheet.
This contains references to any Concessions.
=)
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B_ Definition of Acceptance Methods
The set of HNG-X Acceptance methods are defined in Appendix D of Schedule B6.3 HNG-X Acceptance
Process and reproduced below.
Type Description
HNG-X HNG-X Acceptance Criteria that cannot be objectively verified by a test of HNG-
Document X may be satisfied by Post Office undertaking a HNG-X Document Review. The
Review outcome of any such review will be documented by Post Office in the HNG-X
Acceptance Tracking Document. Fujitsu Services will supply a list of documents
(and any specific references within such documents) for Post Office review,
which may satisfy the agreed HNG-X Acceptance Criteria.
HNG-X HNG-X Acceptance Criteria may be satisfied by Post Office participating in an
Design HNG-X Design Walkthrough led by Fujitsu Services of the Fujitsu Services’
Walkthrough I design. The outcome of any such HNG-X Design Walkthrough will be
documented by Post Office in the HNG-X Acceptance Tracking Document.
HNG-X Tests that are owned and managed by Fujitsu Services with significant
Solution collaborative support from Post Office, for the purpose of verifying that the
Test Fujitsu Services’ solution for the HNG-X System satisfies the relevant HNG-X
Acceptance Criteria. The collaborative team will produce a joint test report
presenting the results of the tests.
HNG-X Tests that are run and managed by Post Office with significant collaborative
Release support from Fujitsu Services, for the purpose of verifying that the HNG-X
Validation Release satisfies the relevant HNG-X Acceptance Criteria. The combined team
will produce a joint test report presenting the results of the tests and provide
evidence on any areas of non conformance.
HNG-X Post Office shall specify any need beyond the level of support that Fujitsu
Monitoring Services are required to provide under normal operational practice (such as a
report etc). Duration, nature and characteristics to be agreed in advance between
Post Office and Fujitsu Services and will take place during Live Pilot or
exceptionally during Live Monitoring. The total duration of HNG-X Monitoring and
the obligations on Fujitsu Services to produce data/reports to support Post Office
monitoring to be agreed between Post Office and Fujitsu Services (each acting
reasonably and in good faith) for a particular HNG-X Requirement.
HNG-X Where the solution to an HNG-X Acceptance Criterion is self-evident and does
Statement of I Ot lend itself to formal proving.
Fact
HNG-X Relates to HNG-X Acceptance Criterion that represents an ongoing contractual
Statement of I obligation for HNG-X.
Obligation
Other Used by exception, to be agreed between the Parties.
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C Definition of Acceptance Incident Severity
The definition of the severity of an HNG-X Acceptance Incident is defined in Appendix A of Schedule
B6.3 HNG-X Acceptance Process and reproduced below.
The HNG-X Acceptance Incident was caused by the introduction of changes arising
from Project HNG-X and/or the Associated Change Activities that are subject to the
HNG-X Acceptance Process and results in a defect that would render a key element of
one or more of the Business Capabilities and Support Facilities or a key element of the
Infrastructure unfit for operational use, which could include:
a) not allowing Post Office to undertake one or more Transaction types;
b) not allowing Post Office to undertake one or more Transaction types using the
required business inputs or generating the required business outcome;
c) creating system performance issues which are in, or are likely to cause a, breach
of Service Level Targets.
Medium I The HNG-X Acceptance Incident was caused by the introduction of changes arising
from Project HNG-X and/or the Associated Change Activities that are subject to the
HNG-X Acceptance Process and results in a defect that would not prevent operation of
one or more of the Business Capabilities and Support Facilities or elements of the
Infrastructure, but would cause problems in the operational use of one or more
Transaction types.
Low The HNG-X Acceptance Incident was caused by the introduction of changes arising
from Project HNG-X and/or the Associated Change Activities that are subject to the
HNG-X Acceptance Process and results in a defect that does not cause any adverse
operational impact in the use of the Business Capabilities and Support Facilities or an
element of the Infrastructure, or the HNG-X Acceptance Incident can be addressed by
a workaround without any adverse operational impact for Post Office.
Non An incident raised by either Party which, following investigation is found:
Incident
> not to be a defect;
>» not to have resulted from the introduction of changes arising from Project HNG-X
and/or the Associated Change Activities that are subject to the HNG-X
Acceptance Process; or
* not to fall within the high, medium or low categories set out in this column.
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D Acceptance Board recommendation options
It is proposed that the decision of the HNG-X Acceptance Board should comprise one of the following
options: -
1. Proceed through Acceptance Gateway.
i. Acceptance Gateway criteria have all been met.
ii. There no Acceptance Incidents that would prevent progression through this Acceptance
Gateway
2. Proceed through Acceptance Gateway
i. Not all Acceptance Criteria have been met and consequently there are Acceptance Incidents.
ii. The severity of these Acceptance Incidents is within the limits for progression through this
Acceptance Gateway.
iii. Each Acceptance Incident has an agreed workaround.
iv. Where required by the contract, all Acceptance Incidents have an agreed rectification
plan or a target timescale for rectification
3. Proceed at risk through Acceptance Gateway
i. Not all Acceptance Criteria have met and consequently there are Acceptance Incidents.
ii. The severity of these Acceptance Incidents is within the limits for progression through this
Acceptance Gateway.
iii. One or more workaround, rectification plan or target timescale, is not yet agreed.
4. Do not proceed through Acceptance Gateway
i. Not all Acceptance Criteria have been met and consequently there are Acceptance Incidents.
ii. The severity of these Acceptance Incidents exceeds the limits for progression through this
Acceptance Gateway
iii. Remedial actions are required to address the Acceptance Incidents and / or
workarounds.
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E Closed Acceptance Incidents
The following table contains summary details of Acceptance Incidents that have been raised as part of Acceptance Gateway 3 or 4 but
have now been closed.
Al reference Al summary Defect Peak Affected Reason for
requirements closure
Al-AD-148 (Medium) I Date offset and ADC datatypes 12540 PC0190965 MIG-3155 Defect resolved.
Al-AD-151 (High) Card misread 12568 PC0191093 No specific reqt. Defect resolved.
AI-NT-002 (Low) Details required of CTO / PHU 5835 PC0174745 TR574 Plans provided
rollout plans
Al-TS-001 (Medium) I Incorrect priority of ref data 12224 PC0189554 ARC-476, MIG-3071 Defect resolved
downloads between Sysman and
BRDB
AI-TS-002 (Low) Distribution of single Help file 12164 PC0189280 HLP-131, HLP-93, Defect resolved
MIG-3071, MIG-3075
Al-TS-003 (Low) Incorrect VPN Policy file on 11701 PC0187523 MIG-2994 Defect resolved
counters
AI-TS-005 (Medium) I Basket settlement of Transaction 12338 PC0189900 SEC-3202 Defect resolved
Corrections
Al-TS-028 (Medium) I Distribution of Help files 12845 None HLP-131, HLP-93 Defect resolved
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Al-AD-103 (Low) Message display during rollover 11802 PC0187803 BAC-3737 Duplicate of
Al-AD-071
Al-TS-029 (High) Reference data distribution 12888, PC0192201, MIG-3045, MIG-3078, I Defect now
MIG-3164 resolved and a
12805 PC0192011 successful Branch
migration has
been achieved.
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Date: 23-Feb-2010
Page No: 49 of 46